RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• A•••• E••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2026 · Holiday, Fl
- C••• B•••••••• S•••••••• I••• formerOct 29, 2008 to May 24, 2022 · Brooksville, Fl
- W•••• F•••• A••••••• wirehouseFeb 2, 2007 to Oct 20, 2008 · New Port Richey, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 28, 2000 to Sep 19, 2002 · Toledo, Oh
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered Jan 1, 2026 (1318 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Oct 20, 2008, registered Oct 29, 2008 (9 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 19, 2002, registered Feb 2, 2007 (1597 days) · Affiliated broker-dealer or bank to wirehouse
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address